Get the free Rampart Form ADV Part 2 - Rampart Investment Management
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Form ADV,Part2AFirmBrochure Item1CoverPage RAMPARTINVESTMENTMANAGEMENTCOMPANY, LLCPrincipalOffice: 100PearlStreet Hartford,CT06103 8002487971(HartfordLocation) Email:jams.sent virtus.com Headdress:www.rampartim.com
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How to fill out rampart form adv part
How to fill out rampart form adv part
01
To fill out the Rampart Form ADV Part, follow these steps:
02
Start with the general information section. Provide details about your firm, including its name, address, and contact information.
03
Move on to the form of organization section. Indicate the legal structure of your firm, such as whether it is a sole proprietorship, partnership, or corporation.
04
Fill out the ownership section. List all individuals and entities that directly or indirectly own 25% or more of the firm's voting securities.
05
Provide information about your firm's other business activities in the section titled 'Additional Information.' Describe any other lines of business your firm is engaged in, if applicable.
06
Complete the section on disciplinary information. Disclose any legal or disciplinary events related to your firm or its employees within the past ten years.
07
Describe your firm's compensation arrangements in the section titled 'Financial Information.' Provide details about how clients are charged for your services.
08
Finally, review the completed form for accuracy and make any necessary corrections before submitting it to the appropriate regulatory authority.
Who needs rampart form adv part?
01
Rampart Form ADV Part is needed by investment advisers who are required to register with the Securities and Exchange Commission (SEC) or state securities authorities.
02
These advisers include firms that manage a certain amount of assets, provide advice on securities, or are compensated for their advisory services.
03
It is important for these advisers to accurately fill out the Rampart Form ADV Part to comply with regulatory requirements and provide transparency to clients and investors.
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What is rampart form adv part?
Rampart Form ADV Part is a disclosure document that investment advisers must file with the SEC.
Who is required to file rampart form adv part?
Investment advisers who manage over $25 million in assets are required to file Rampart Form ADV Part with the SEC.
How to fill out rampart form adv part?
Rampart Form ADV Part can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of rampart form adv part?
The purpose of Rampart Form ADV Part is to provide key information about an investment adviser, its business practices, and potential conflicts of interest to clients and regulatory authorities.
What information must be reported on rampart form adv part?
Information such as assets under management, advisory services offered, fees charged, disciplinary history, and ownership structure must be reported on Rampart Form ADV Part.
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